SEC Form 4 · accession 0001193805-18-000712
AIR INDUSTRIES GROUP · AIRI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter Rettaliata
Director
Period of report
May 14, 2018
Accepted (ET)
May 16, 2018 · 5:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001009891
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 29, 2017 | J | 40,407 | $1.65 | A | 52,952 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to purchase) | $6.60 | Sep 16, 2013 | A | 18,750 | A | Sep 1, 2014 | Aug 31, 2020 | Common Stock | 18,750 | 18,750 | D |
| Stock Options (right to purchase)F1 | $1.42 | Jul 24, 2017 | A | 50,000 | A | Jul 24, 2018 | Jul 24, 2024 | Common Stock | 50,000 | 50,000 | D |
| Stock Options (right to purchaseF2 | $1.59 | May 14, 2018 | A | 10,000 | A | May 14, 2018 | May 31, 2023 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1Vests in annual installments of 10,000 shares commencing July 24, 2018.
- F2Vests in increments of 2,500 shares on each of May 14, 2018, June 30, 2018, September 30, 2018 and December 31, 2018.